Junior Associate Director, Controls, Business Operations Controls

Company Description

About MUFG Investor Services

MUFG Investor Services is a trusted partner to many of the world’s largest public and private funds, providing asset servicing and operational solutions built for alternatives. With over $1 trillion in client assets under administration, we offer fund administration, banking, payments, fund financing, foreign exchange overlay, corporate and regulatory services, custody, business consulting, and more. Operating from 17 locations worldwide, we help clients mitigate risk, enhance efficiency, and navigate the operational complexities of today’s investment management landscape. As a division of Mitsubishi UFJ Financial Group (MUFG), one of the world’s largest financial institutions with approximately $3 trillion in assets, we combine deep expertise with the strength and stability of a leading financial institution. To learn more, visit us at .

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Job Description

Job Description

This role shall assist the Business Operations Controls Function in the project management and delivery of the MUFG SOC1 audit within the required timeframe and the management of the MUFG’s Policies and Procedures Program. The incumbent will assist with the implementation of the Business Operations Control framework, including the identification of areas of risk through analysis and operational incidents review, and provide support to the wider Controls team who sit within the 1st Line of defense.

Core Responsibilities

• Assist with the implementation of the Control framework and perform ongoing review of its effectiveness in identifying, reducing, controlling, and reporting key risks that impact clients and the business, providing support to the wider Controls team in respect of managing operational risk and internal controls within the Group
• Work to identify and address areas of risk within the business, through:Operational Incidents Review: Coordinate with Operational Risk and the business to investigate and resolve operational incidents, identify suitable preventative measures and / or incident reduction initiatives and work with the business to implement Analysis: Perform periodic and ad-hoc data analysis to identify any trends or areas of concern. Ensure findings are appropriately escalated and assist the business in addressing these.
• Administer and manage the Company’s efforts, including control definition, risk assessment and testing of key internal controls that form part of the control objectives as part of the SOC 1 program
• Facilitate process walkthroughs and coordinate testing plans and results with the Company’s external auditors and manage audit expectations across global offices
• Resolve exceptions / findings that are identified by external auditors during the attestation engagement and drive controls and risk remediation plans
• Assist in the preparation and draft the description of the control environment, control activities, risk assessment, monitoring and information and communication processes [COSO framework] for review by external auditors
• Ensure timely completion of the attestation engagement by coordinating with key stakeholders within the Company and the external audit team
• Assist in the management of MUFG’s Policies & Procedures Program and in-house Database (SOPS), managing and coordinating reviews, ensuring the required approval of any changes and reviews are completed on schedule
• Work with the business to identify new areas of scope and scope change, to be included within future SOC 1, project manage all aspects of integration into scope
• Work alongside the Controls, Project Management Office, and Risk functions on key initiatives where there are cross over points with the SOC1 and policies and procedures programs
• Perform other duties as assigned and incidental to the work described above.

Qualifications

• Be ACA, ACCA or CPA qualified with audit experience either through industry or practice.
• Have a minimum of 3 years experience within the funds industry and preferably with experience in assisting on managing and organizing in project management and delivery.
• Good knowledge of internal audit methodologies and best practices.
• Good understanding of fund administration industry, this includes various fund structures, fee calculations, financial instruments, and systems.
• Have excellent written and verbal English and the ability to develop and write meaningful reports and presentations.
• Strong computer skills with strengths in Microsoft Office products and proficiency in Microsoft Excel.
• Excellent analytical and communication skills (Written & Verbal).
• Strong influencing and Relationship Management skills conducted with integrity and sound judgement.
• Ability to coordinate across jurisdictions / locations and operate effectively in a changing environment.

Additional Information

What’s in it for you to join MUFG Investor Services?

Take a look at our careers site and you’ll find everything you’d expect from a career with the fastest-growing business at one of the world’s largest financial groups. Now take another look. Because it’s how we defy expectations that really defines us. You’ll feel that difference in all kinds of ways. Our vibrant CULTURE. Connected team. Love of innovation, laser client focus, and next-level LEARNING & DEVELOPMENT. Oh, and we really walk the talk when it comes to HYBRID WORKING.

So, why settle for the ordinary? Apply now for a Brilliantly Different career.

MUFG is an equal opportunity employer.